Securities Laws and Capital Markets SLCM Revision Notes by CS Aditi Pant for ICSI CS Executive Exam

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The SLCM Revision Notes for CS Executive written by CS Aditi Pant covers entire module in just 120 pages. The Ultimate Securities Laws & Capital Markets Revision Notes give a solid boost to your preparations before ICSI CS Executive exams. Amazing diagrams and techniques to help you memorize important concepts and facts.

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The SLCM Revision Notes for CS Executive written by CS Aditi Pant covers entire module in just 120 pages. The Ultimate Securities Laws & Capital Markets Revision Notes give a solid boost to your preparations before ICSI CS Executive exams. Amazing diagrams and techniques to help you memorize important concepts and facts.

Special Features:

  • 100% course covered in just 120 Pages
  • Beautiful diagrams to memorize complex concepts
  • Exam important topics
  • Free access to online mock test series by Pareeksha

This product is LectureKart certified. Highest quality guaranteed.

Table of Contents

SECURITIES CONTRACTS (REGULATION) ACT, 1956 1
1.1 INTRODUCTION 1
1.2 NON-APPLICABILITY 1
1.3 IMPORTANT DEFINITIONS/TERMINOLOGIES 1
1.4 RECOGNITION OF STOCK EXCHANGES 2
1.5 WITHDRAWAL OF RECOGNITION 3
1.6 POWERS OF CENTRAL GOVERNMENT 4
1.7 POWERS OF RECOGNIZED STOCK EXCHANGE 5
1.8 CLEARING CORPORATION 5
1.9 POWERS OF SEBI 5
1.10 PUBLIC ISSUE AND LISTING OF SECURITIES 6
1.11 CONDITIONS FOR LISTING 6
1.12 DELISTING OF SECURITIES 6
1.13 RIGHT OF APPEAL TO SECURITIES APPELLATE TRIBUNAL AGAINST REFUSAL OF STOCK EXCHANGE TO LIST SECURITIES OF PUBLIC COMPANIES 6
1.14 PENALTIES 7
1.15 FACTORS TO BE TAKEN INTO ACCOUNT BY THE ADJUDICATING OFFICER 8
1.16 RECOVERY OF AMOUNTS 8
1.17 COMPOSITION OF CERTAIN OFFENCES 8
1.18 OFFENCES BY COMPANIES 8
1.19 ESTABLISHMENT OF SPECIAL COURTS 8
SECURITIES AND EXCHANGE BOARD OF INDIA, 1992 11
2.1 INTRODUCTION 11
2.2 SCHEME OF THE ACT 11
2.3 COMPOSITION OF SEBI 11
2.4 FUNCTIONS OF SEBI 12
2.5 POWERS OF SEBI 12
2.6 PROHIBITION OF MANIPULATIVE AND DECEPTIVE DEVICES, INSIDER TRADING ETC. [CHAPTER VA] 13
2.7 PENALTIES FOR FAILURES 14
2.8 ADJUDICATION [SECTION 15-I] 16
2.9 FACTORS CONSIDERED WHILE ADJUDICATION [SECTION 15J] 17
2.10 SECURITIES APPELLATE TRIBUNAL 17
2.11 APPEAL TO SUPREME COURT 18
2.12 POWERS OF CENTRAL GOVERNMENT 18
2.13 APPEAL TO THE CENTRAL GOVERNMENT [SECTION 20] 19
2.14 OFFENCES AND PUNISHMENTS (SECTION 24) 19
2.15 COGNIZANCE OF OFFENCES BY COURTS 19
2.16 SPECIAL COURTS 19
2.17 RECOVERY OF AMOUNTS [ SECTION 28A(1) ] 19
2.18 CONSENT ORDER 20
2.19 ROLE OF COMPANY SECRETARY 20
DEPOSITORIES ACT, 1996 21
3.1 INTRODUCTION 21
3.2 BENEFITS OF DEPOSITORY SYSTEM 21
3.3 AN OVERVIEW OF DEPOSITORY SYSTEM 21
3.4 DEPOSITORY PARTICIPANT 22
3.5 DEMATERIALIZATION 22
3.6 REMATERIALISATION 22
3.7 DEPOSITORIES ACT, 1996 23
3.8 PENALTIES AND ADJUDICATION 24
3.9 PENALTIES 25
3.10 OFFENCES 25
3.11 SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 26
3.12 CONCURRENT AUDIT 27
3.13 ROLE OF COMPANY SECRETARY 27
OVERVIEW OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 29
4.1 INTRODUCTION 29
4.2 ISSUE OF EQUITY SHARES 29
4.3 ELIGIBILTY CRITERIAS FOR PUBLIC ISSUE 29
4.4 TYPES OF ISSUE 30
4.5 DRAFT OFFER DOCUMENT 31
4.6 OFFER DOCUMENT 31
4.7 RED HERRING PROSPECTUS (RHP) 31
4.8 FILING OF OFFER DOCUMENT 32
4.9 FAST-TRACK ISSUES 32
4.10 DIFFERENTIAL PRICING 32
4.11 PRICE AND PRICE BAND 33
4.12 FACE VALUE OF EQUITY SHARES 33
4.13 PROMOTERS’ CONTRIBUTION 33
4.14 EXEMPTION FROM REQUIREMENT OF PROMOTERS’ CONTRIBUTION 34
4.15 UNDERWRITING 34
4.16 OTHERS 35
4.17 PERIOD OF SUBSCRIPTION 35
4.18 ADVERTISEMENTS 35
4.19 RESTRICTION ON FURTHER CAPITAL ISSUES 35
4.20 MINIMUM OFFER TO PUBLIC 36
4.21 RESERVATION ON COMPETITIVE BASIS 36
4.22 ALLOCATION TO NET OFFER TO PUBLIC (IMPORTANT POINTS) 36
4.23 PROCEDURE FOR ISSUE OF SECURITIES 37
AN OVERVIEW OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 39
5.1 INTRODUCTION 39
5.2 SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 39
5.3 APPLICABILITY OF LODR 39
5.4 OBLIGATIONS OF LISTED ENTITIES 39
5.5 COMPLIANCES UNDER SEBI LISTING REGULATIONS 40
5.6 CORPORATE GOVERNANCE UNDER SEBI (LODR) REGULATIONS, 2015 42
5.7 BOARD COMMITTEES UNDER LISTING REGULATIONS 43
5.8 VIGIL MECHANISM [ REGULATION 22 ] 43
5.9 RELATED PARTY TRANSACTIONS [ REGULATION 23 ] 43
5.10 IN-PRINCIPLE APPROVAL OF RECOGNIZED STOCK EXCHANGE(S) [ REGULATION 28 ] 44
5.11 ROLE OF COMPANY SECRETARY 44
AN OVERVIEW OF SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011 45
6.1 INTRODUCTION 45
6.2 SCHEME OF SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2011 45
6.3 IMPORTANT DEFINITIONS 45
6.4 TRIGGER POINT FOR MAKING AN OPEN OFFER BY AN ACQUIRER 48
6.5 OPEN OFFER TRIGGERS 48
6.6 CONDITIONAL OFFER 49
6.7 PUBLIC ANNOUNCEMENT 49
6.8 PUBLICATION OF PUBLIC ANNOUNCEMENT AND DETAILED PUBLIC STATEMENT 51
6.9 OFFER PRICE 52
6.10 SUBMISSION OF DRAFT LETTER OF OFFER 52
6.11 DISPATCH OF LETTER OF OFFER 52
6.12 OPENING OF THE OFFER 52
6.13 PROVISION OF ESCROW 52
6.14 MODE OF PAYMENT 53
6.15 WITHDRAWAL OF OPEN OFFER 53
6.16 OBLIGATIONS OF THE TARGET COMPANY 54
6.17 DISCLOSURES 54
6.18 EXEMPTIONS 55
SEBI (BUYBACK OF SECURITIES) REGULATIONS 1998 57
7.1 INTRODUCTION 57
7.2 OBJECTIVES OF BUY-BACK 57
7.3 IMPORTANT DEFINITIONS 57
7.4 METHODS OF BUY-BACK 58
7.5 APPROVALS REQUIRED 58
7.6 BUY-BACK FROM EXISTING SECURITY-HOLDERS THROUGH TENDER OFFER 58
SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 61
8.1 INTRODUCTION 61
8.2 SUSPENSION VIS-À-VIS DELISTING 61
8.3 SCHEME OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 61
8.4 APPLICABILITY 61
8.5 VOLUNTARY DELISTING 62
8.6 COMPULSORY DELISTING 64
8.7 ROLE OF COMPANY SECRETARY IN DELISTING 65
SEBI (SHARE BASED EMPLOYEE BENEFITS) REGULATIONS, 2014 67
9.1 INTRODUCTION 67
9.2 SEBI (SHARE BASED EMPLOYEE BENEFITS) REGULATIONS, 2014 67
9.3 ENTITITES COVERED 67
9.4 IMPORTANT DEFINITIONS 68
9.5 IMPLEMENTATION AND PROCESS OF SCHEMES 68
9.6 COMPLIANCES AND CONDITIONS 71
9.7 AUDITOR’S CERTIFICATE 71
9.8 ACCOUNTING POLICIES 71
9.9 ROLE OF COMPANY SECRETARY 73
SEBI (ISSUE OF SWEAT EQUITY) REGULATIONS, 2002 – AN OVERVIEW 75
10.1 INTRODUCTION 75
10.2 PROVISIONS AS PER THE COMPANIES ACT, 2013 75
10.3 SEBI (ISSUE OF SWEAT EQUITY) REGULATIONS, 2002 76
10.4 IMPORTANT PROVISIONS REGARDING SPECIAL RESOLUTION 76
10.5 ISSUE OF SWEAT EQUITY SHARES TO PROMOTERS 76
10.6 PRICING NORMS OF SWEAT EQUITY SHARES 76
10.7 VALUATION OF INTELLECTUAL PROPERTY 77
10.8 ACCOUNTING POLICIES 77
10.9 OTHER IMPORTANT PROVISIONS 77
SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2014 79
11.1 INTRODUCTION 79
11.2 SCHEME OF THE ACT 79
11.3 IMPORTANT DEFINITIONS 79
11.4 COMMUNICATION OR PROCUREMENT OF UNPUBLISHED PRICE SENSITIVE INFORMATION 81
11.5 TRADING WHEN IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION (UPSI) 81
11.6 TRADING PLANS 82
11.7 DISCLOSURES OF INTEREST BY CERTAIN PERSONS 83
11.8 CODE OF FAIR DISCLOSURE 83
11.9 CODE OF CONDUCT 84
11.10 INSTITUTIONAL MECHANISM FOR PREVENTION OF INSIDER TRADING 84
11.11 MINIMUM STANDARDS FOR CODE OF CONDUCT 85
11.12 PENALTY 85
11.13 ROLE OF COMPANY SECREATRY AS COMPLIANCE OFFICER 86
MUTUAL FUNDS 87
12.1 INTRODUCTION 87
12.2 STRUCTURE OF A MUTUAL FUND 87
12.3 TYPES OF MUTUAL FUND 87
12.4 INVESTEMENT PLANS IN MUTUAL FUNDS 88
12.5 SCHEMES ACCORDING TO INVESTMENT OBJECTIVE 88
12.6 ADVANTAGES OF MUTUAL FUNDS 90
12.7 RISK INVOLVEMENT 91
12.8 KEY PLAYERS IN MUTUAL FUND 91
12.9 NET ASSET VALUE 92
12.10 EXPENSE RATIO 94
12.11 HOLDING PERIOD RETURN 94
12.12 HOLDING PERIOD RETURN 95
12.13 SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 95
COLLECTIVE INVESTMENT SCHEME 97
13.1 INTRODUCTION 97
13.2 STRUCTURE OF CIS 97
13.3 SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATIONS, 1999 97
13.4 COLLECTIVE INVESTMENT MANAGEMENT COMPANY (CIMC) 98
13.5 RESTRICTION ON BUSINESS ACTIVITIES 99
13.6 OBLIGATIONS OF CIMS 99
13.7 TRUSTEE/S AND THEIR OBLIGATION 99
13.8 CIS MANAGEMENT COMPANY 100
13.9 DISCLOSURES IN THE OFFER DOCUMENT 100
13.10 ALLOTMENT OF UNITS AND REFUNDS OF MONEY 101
13.11 ALLOTMENT OF UNITS AND REFUNDS OF MONEY 101
13.12 UNIT CERTIFICATES 101
13.13 TRANSFER OF UNITS 101
13.14 LISTING OF CIS 102
13.15 WINDING UP OF COLLECTIVE INVESTMENT SCHEME 102
13.16 GENERAL OBLIGATIONS OF CIMC 102
13.17 PROCEDURE FOR ACTION IN CASE OF DEFAULT 103
13.18 DIRECTIONS BY SEBI 103
13.19 PENAL PROVISIONS 103
SEBI (OMBUDSMAN) REGULATIONS, 2003 105
14.1 INTRODUCTION 105
14.2 INVESTOR GRIEVANCES 105
14.3 SCORES (SEBI COMPLAINTS REDRESS SYSTEM) 105
14.4 COMPLAINTS INCLUDED / EXCLUDED FROM THE PURVIEW OF SCORES 106
14.5 PROCESS FOR LODGING COMPLAINT ONLINE IN SCORE BY INVESTOR 107
14.6 WHEN CAN A CASE BE REFERRED FOR ARBITRATION 107
14.7 SEBI MOBILE APPLICATION: RECENT DEVELOPMENT 108
14.8 OMBUDSMAN 108
14.9 POWERS & FUNCTIONS OF OMBUDSMAN 109
14.10 NATURE OF GRIEVANCE 109
14.11 POWER TO CALL FOR INFORMATION 109
14.12 SETTLEMENT BY MUTUAL AGREEMENT 110
14.13 AWARD & ADJUDICATION 110
14.14 EVIDENCE ACT NOT TO APPLY IN THE PROCEEDINGS BEFORE OMBUDSMAN 111
14.15 IMPLEMENTATION OF THE AWARD 112
14.16 SEBI (INFORMAL GUIDANCE) SCHEME, 2003 112

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CS Aditi Pant

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Target Exam

Upcoming Attempt 2021

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